Our finance lawyers provide guidance and filing assistance with respect to compliance with all federal laws applicable to such transactions, including the:
- Securities Act of 1933
- Securities Exchange Act of 1934
- Trust Indenture Act of 1939
- Investment Company Act of 1940
- Investment Advisors Act of 1940
- Rules and regulations of the Securities and Exchange Commission
- Related state securities laws
We also provide advice with respect to periodic reporting requirements under the 1934 Act and public disclosure requirements.
We counsel clients on proxy solicitations; Williams Act compliance (including tender offers and Schedule 13-D filings); reporting requirements for officers, directors and other affiliates under Section 16 of the 1934 Act; and compliance with New York Stock Exchange, American Stock Exchange, NASDAQ and other exchange listing requirements, as well as with the governance guidelines under the Sarbanes-Oxley Act.
Our finance lawyers have represented issuers, underwriters, placement agents and trustees in a wide variety of corporate finance transactions, including registered public offerings of common and preferred stock, warrants, bonds, debentures and convertible securities, and in offerings under Regulations A and D and other offerings that are exempt from registration under federal and state securities laws.
Our Corporate Finance Attorneys
Corporate finance typically involves a wide variety of legal issues. Our finance attorneys work closely with the firm's Tax, Land Use, Environmental, Commercial Real Estate, Bankruptcy & Creditors' Rights, Employment Law and other teams to provide the highest quality of legal services to our clients. We are committed to the law firm's philosophy of producing a superior work product in a timely and cost- efficient manner.